Reporting Requirements

News & Analysis as of

SEC Finalizes Rules Implementing JOBS Act and FAST Act Provisions Concerning Exchange Act Registration Thresholds

On May 3, 2016, the SEC adopted final rules regarding reporting obligation thresholds under the Securities Exchange Act of 1934 mandated by the JOBS Act and the securities provisions of the FAST Act. The rules become...more

Avoiding a Messy Break-Up: How a Firm’s Investigation Can Deflect a Financial Advisor’s Form U-5 Defamation Claim

Breaking up is hard to do. In the investment industry, it can be even harder because one half of the couple needs to publish the reasons for the break-up. When a registered representative separates from a broker-dealer...more

CMS Finalizes Rule on Reporting and Returning Medicare Overpayments

The Affordable Care Act (sometimes referred to as Obamacare) included a requirement for providers to report and return all Medicare and Medicaid overpayments within 60 days of identification. Although this requirement has...more

National People’s Congress of China Approves Law on Foreign NGOs

On April 28, 2016, the 20th meeting of the 12th Standing Committee of the National People's Congress (NPC) of China approved The Law on the Administration of Activities by Foreign Non-Governmental Organizations within the...more

CFPB issues 2015 fair lending report

The CFPB has issued a report covering its fair lending activities during 2015.  The report states that in 2015, CFPB fair lending supervisory and public enforcement actions required institutions to provide approximately $108...more

Regulation S-K Concept Release: Will the SEC Reform the Norm for Corporate Disclosures?

On April 13, 2016, the SEC published a concept release discussing and seeking public comment on modernizing certain business and financial disclosures required by Regulation S-K, which lays out reporting requirements for...more

New Semi-Annual Reporting of Risk Data Required for Luxembourg-Domiciled UCITS

The Luxembourg supervisory authority (“CSSF”) recently issued a circular letter (“Circular Letter”) that requires all Luxembourg-domiciled UCITS to provide the CSSF with information – pursuant to the filing of additional...more

DOL Persuader Regulations Expose Every Employer to Reporting Requirements and Disclosures

All employers should examine their use of labor and employment service providers to mitigate unwanted disclosure of fees paid to such providers. To protect confidentiality and the integrity of the attorney-client...more

OSHA – Injury to Intoxicated Employee is Recordable

Seyfarth Synopsis: An alcohol induced accident involving an intoxicated employee can be an OSHA recordable incident. OSHA recently opined in an Interpretation Letter that, where an employee sustained an injury at work...more

EEOC Seeks More Pay Data

Most private employers with 100 or more employees, and certain federal government contractors with 50 or more employees, are required to annually submit “The Employer Information Report” (known as the EEO-1) to the Equal...more

Executive Labor Summary - March / April 2016

NEWS & ANALYSIS - DOL’s “Persuader Rule”: Fight on! – As we have previously reported, the U.S. Department of Labor on March 24 issued new regulations that adopt a new interpretation of the "persuader" reporting...more

Important Filing Changes for Indiana Nonprofit Corporations

Significant changes are being implemented to the reporting requirements for Indiana nonprofit corporations over the next several months. Until now, Indiana nonprofit corporations have been required to submit a Business Entity...more

The New “Persuader Rule” and Its Impact on Manufacturers

The federal Office of Labor-Management Standards (“OLMS”) in the Department of Labor issued a Final Rule, on March 24, 2016, that significantly reinterprets the so-called Persuader Activities Rule. This rule represents the...more

Cal PUC Issues New Rules for TNCs

At the voting meeting on April 21, the California Public Utilities Commission approved new regulations impacting the operations of Transportation Network Companies (TNCs), such as Lyft and Uber, within California. The “Phase...more

EEOC Proposes to Collect Pay Data from Certain Employers

The Equal Employment Opportunity Commission (“EEOC”) recently proposed a revision to the Employer Information Report (“EEO-1”) that would require certain employers to submit aggregate data on employee pay and hours...more

The ERISA Litigation Newsletter - April 2016

Editor's Overview - This month we feature three key developments. First, we review the U.S. Supreme Court's decision in Gobeille v. Liberty Mut. Ins. Co., 136 S. Ct. 936, 947 (2016) wherein the Supreme Court held that a...more

Department Of Labor Greatly Expands The Scope Of Employer Reporting Obligations Related To Union Organizing Campaigns

On March 24, 2016, the United States Department of Labor (DOL) published its new Persuader Rule, which significantly changes the nature of the individuals and entities who are required to report as to whether they provided...more

"SEC to Focus on Non-GAAP Financial Measures in 2016"

On March 16, 2016, Securities and Exchange Commission Chair Mary Jo White cautioned an audience of industry professionals at the U.S. Chamber of Commerce that the SEC continues to focus on companies’ use of financial measures...more

A Month in UK Employment Law - April 2016

News & Legislation Update - Gender Pay Gap Reporting Draft Regulations published - The first draft of regulations requiring any employer in the UK with at least 250 employees to publish information about the...more

So You’ve Filed Your 1095-C…Now What?

As companies complete their Section 6055 and 6056 reporting under the Affordable Care Act (ACA), now it’s time to be on the lookout for notices regarding ACA penalties....more

Foreign Financial Asset Reporting - Coming Soon to a Domestic Entity Near You

When Form 8938 reporting for foreign financial assets of U.S. taxpayers was first imposed a few years, only U.S. individuals were subject to it. The IRS has now issued final regulations that will commence reporting by...more

One Size for All: Increased Private Placement Reporting Begins June 30

Effective June 30, 2016, issuers will have to report prospectus-exempt distributions that settle on or after that date in any Canadian jurisdiction using a new, harmonized Form 45-106F1 (New Form), with significantly...more

Product Regulations: What You Don't Know Can Hurt You - and Could Destroy Your Business

What do the Federal Trade Commission (FTC), Consumer Product Safety Commission (CPSC), Federal Drug Administration (FDA), Department of Agriculture (USDA), and Environmental Protection Agency (EPA) have in common? Each is, of...more

IRS Proposes Updates to Rules for Deemed Distributions of Stock and Stock Rights

On April 13, 2016, the U.S. Department of the Treasury issued proposed regulations under Section 305(c) of the Internal Revenue Code that would resolve certain issues relating to the amount and timing of deemed distributions...more

Derivatives in Review - April 2016

Novo Banco and CDS – A Post-Mortem - The 2014 ISDA Credit Derivatives Definitions updated the previous set of credit derivatives definitions to, among other things, include a credit event for “Governmental Intervention.”...more

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